System and method for file monitoring

ABSTRACT

A file monitoring system tracks progress of data processing of a data file. Various applications and systems transmit status updates at one or more stages of processing to the file monitoring system. The file monitoring system monitors the status updates and generates reports displaying the status of the date file at the predetermined processing states. Reports include end to end status, files received and files delivered.

CROSS-REFERENCE TO RELATED PATENTS

The present U.S. Utility patent application claims priority pursuant to35 U.S.C. §119(e) to U.S. Provisional Application Ser. No. 61/101,660entitled “System and Method for Data File Monitoring,” filed Sep. 30,2008, pending, which is hereby incorporated herein by reference in itsentirety and made part of the present U.S. Utility patent applicationfor all purposes.

STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT

Not applicable.

INCORPORATION-BY-REFERENCE OF MATERIAL SUBMITTED ON A COMPACT DISC

Not applicable.

BACKGROUND OF THE INVENTION

1. Technical field of the Invention

This invention relates generally to a system and method for dataprocessing and more particularly to a system and method for trackingstatus of files in a data processing system.

2. Description of Related Art

In a data processing system, data files are received and processed andan output is generated. The status of the files or data generated fromthe files during processing is either unknown or must be manuallytracked. Therefore, a need exists for an improved system that is able tomonitor status of files in a data processing system.

BRIEF DESCRIPTION OF THE SEVERAL VIEWS OF THE DRAWINGS

FIG. 1 is a schematic block diagram of an embodiment of a cardprocessing system in accordance with the present invention;

FIG. 2 is a schematic block diagram of an embodiment of an informationmanagement system in accordance with the present invention;

FIG. 3 is a schematic block diagram of an embodiment of a filemonitoring system in accordance with the present invention;

FIG. 4 is a logic diagram of an embodiment of a method for trackingprogress of a data file in accordance with the present invention; and

FIG. 5 is a schematic block diagram of an embodiment of a system forfile monitoring in accordance with the present invention.

FIG. 6 is a schematic block diagram of an embodiment of a filemonitoring system in accordance with the present invention;

FIGS. 7 a and 7 b and 7 c are schematic block diagrams of an embodimentof a graphical user interface for displaying a status report of expectedand received data files;

FIG. 8 is a schematic block diagram of an embodiment of a graphical userinterface for displaying a file delivered status report;

FIGS. 9 a and 9 b are schematic block diagrams of an embodiment of agraphical user interface for displaying an end to end status report fora data file;

FIGS. 10 a and 10 b are schematic block diagrams of an embodiment of agraphical user interface for displaying a volume of files receivedReport;

FIG. 11 is a schematic block diagram of an embodiment of a graphicaluser interface for displaying a file processing throughput report; and

FIGS. 12 a and 12 b are schematic block diagrams of an embodiment of agraphical user interface for displaying a file processing warning anderror statistics report.

DETAILED DESCRIPTION OF EMBODIMENTS OF THE INVENTION

FIG. 1 is a schematic block diagram of an embodiment of a system 5 thatincludes a card processing system 10, a plurality of proprietaryinterfaces 18-30, a plurality of issuer systems 32-36, a plurality ofmerchant systems 40-46, one or more acquirer systems 48, one or morethird party processing service systems 62, a proprietary gateway 50, awide area network 52, and a plurality of cardholder devices 54-56. Themerchant systems 40-46 are point of sale devices associated with amerchant that sells products and/or services. Such a merchant may have asingle location or multiple national or international locations. Themerchant may have an online internet store. The issuer systems 32-36 areeach associated with a different issuer. An issuer is a bank, financialinstitution or other entity that issues a credit or debit card tocommercial entities or consumers. The proprietary interfaces 18-30provide network access. The network interfaces 18-30 may includegateways, proxy servers, modems, network terminals and other devicesthat are operable to provide communication to the proprietary network16.

The card processing system 10 includes a card processing device 12, astorage system 14 and a proprietary network 16. The card processingdevice 12 includes one or more computing devices (e.g., computers,servers, super computers, main frames, etc.) coupled to the proprietarynetwork 16. The proprietary network 16 and card processing device 12have a storage system 14 coupled thereto. The storage system 14 may beone or more databases implemented in internal memory devices, storagearea networks, network attached storage devices, or other storagedevices located in one geographical location or multiple geographicallocations. The storage system 14 may be structured as relational,network, hierarchal or object based or other type of structured databaseoperable to store and locate data files.

The card processing device 12, the storage system 14, and theproprietary network 16 may be operated and maintained by a singletransactional processing entity. For example, Visa, Inc. may provide itsVisaNet® or Interlink® or Visa/Plus® ATM Network or combination thereofas the proprietary network 16. In another embodiment, the cardprocessing system 12, the storage system 14 and the proprietary network16 are owned and operated by different legal entities.

The network 52 provides access to the proprietary network 16 through theproprietary gateway 50. The network 52 may be a wide area network, suchas the internet, or an access network or a proprietary network thatconnects devices to the proprietary network 16 through the proprietarygateway 50. The proprietary gateway 50 includes one or more edge networknodes that control access to the proprietary network 16 and may alsoprovide firewall and routing services to the proprietary network 16 toensure only authorized communications are transmitted in the proprietarynetwork 16.

In operation, the card processing system 10 receives an authorizationrequest for a transaction from an acquirer system 48 or merchant system40-46 or third party processing service system 62. In general, theauthorization request is initiated when a merchant system 40-46 receivescard information and obtains a transaction amount. The merchant system40-46 transmits the card information and the transaction amount to anacquirer system 48 or third party processing service system 62 whichcombines the card information and the transaction amount into anauthorization request. The acquirer system 48 then transmits theauthorization request to the card processing system 10. The cardprocessing system 10 routes the authorization request to one of aplurality of issuer systems 32-36. The issuer system 32-36 approves ordenies the transaction in an authorization response transmitted to thecard processing system 10. The card processing system 10 then forwardsthe authorization response from the issuer system 32-36 to the acquirersystem 48 or merchant system 40-46 or through the third party processingservice system 62 to merchant system 40-46. In another embodiment, thecard processing system 10 may perform a stand-in review andauthorization for the issuer system 32-36.

The card processing system 10 also performs clearing and settlementservices. An acquirer system 48 formats transaction data into asettlement request and transmits it to the card processing system 10.The card processing network 10 receives the settlement request andprocesses the settlement request to calculate settlement obligations ofthe issuer, processing fees, and amount due the acquirer system. Thecard processing network 10 then transmits the settlement request to theissuer system 32-36. The issuer system 32-36 transmits settlement datato the card processing network 10 and transfers settlement funds to adesignated account of the card processing system 10. The issuerprocesses the transaction data and associates each transaction with acustomer's account for payment. The issuer system 32-36 also generatesaccount statements which summarize the transactions and transaction datafor a period of the customer's account. The card processing system 10processes the settlement data and transfers the settlement funds to theacquirer system 48. In addition, the card processing network 10 mayassist in processing disputes over transactions or transaction data withdispute resolution procedures. For example, a customer may dispute atransaction amount or assert that a transaction was committedfraudulently without authorization. The card processing system 10 maythen initiate an investigation and a chargeback or reversal of financialliability of a particular transaction by the issuer system 32-36 to anacquirer system 48.

The card processing system 10 may also provide services to one or morecustomer systems 60. The customer includes, for example, a corporation,company, small business or government entity. The card processing system10 provides various services to customer system 60, such as accountingservices, corporate card services (through one or more issuer systems32-36), 1099 services, etc.

FIG. 2 illustrates an embodiment of an information management system(IMS) 100. The IMS 100 is coupled to the card processing system 10,proprietary network 16 and network 52. The IMS 100 includes an IMprocessing device 104, IM input/output (I/O) system 102, and IM storagesystem 106. The IM I/O system 102 provides access to the IMS 100.Customer systems 60, acquirer systems 48, third party processing servicesystems 62 and acquirer systems 48 access the IM I/O system 102 throughnetwork 52 or through proprietary network 16. The IM I/O system 102includes one or more servers for receiving and transmitting data files,such as a file server, web server, etc. Third party systems, such ascustomer system 60, acquirer system 48 and merchant system 40-46, areable to access the IMS 100 through the IM I/O system 102 to transmitdata files or download data files using FTP or other secure filetransfer protocol. The IM I/O system 102 may include a web server thatprovides a web portal for displaying certain websites, site content,GUIs, html documents, using an HTTP protocol or other similar protocol.The IM storage system 106 stores commercial transaction data as acommercial center data repository. The IM storage system 106 may be aseparate storage system or be included within storage system 14.

The IM Processing Device 104 includes one or more of servers, computersor other processing modules. In an embodiment, the processing moduleincludes a central processing unit; a memory that includes systemmemory, cache memory, and read only memory; an I/O module that includesa graphical user interface and/or a peripheral device interface (e.g.,to connect to a mouse, a keyboard, etc.) and a video card, printer card,etc. In general, the processing module may be a single processing deviceor a plurality of processing devices. Such a processing device may be amicroprocessor, micro-controller, digital signal processor,microcomputer, central processing unit, field programmable gate array,programmable logic device, state machine, logic circuitry, analogcircuitry, digital circuitry, and/or any device that manipulates signals(analog and/or digital) based on hard coding of the circuitry and/oroperational instructions. The processing module may have internal memoryand/or is coupled to memory. Memory and internal memory may each be asingle memory device or a plurality of memory devices. Such a memorydevice may be a read-only memory, random access memory, volatile memory,non-volatile memory, static memory, dynamic memory, flash memory, cachememory, and/or any device that stores digital information. Note thatwhen the processing module implements one or more of its functions via astate machine, analog circuitry, digital circuitry, and/or logiccircuitry, the memory storing the corresponding operational instructionsmay be embedded within, or external to, the circuitry comprising thestate machine, analog circuitry, digital circuitry, and/or logiccircuitry. Further note that, the internal memory and/or memory stores,and the processing module is operable to execute, hard coded and/oroperational instructions corresponding to steps and/or functionsdescribed herein.

The IMS 100 and card processing system 10 receive various types of datafiles from third party systems, such as issuer systems, acquirersystems, commercial customer systems, etc. The data files, for example,may be data files with new card account information from issuer systems,new merchant profiles from acquirer systems, account payable files froma commercial customer system, etc. The data files may include text,records, images, video, or other multimedia content. The data files maybe formatted as excel spreadsheets, documents, ASCII, HTML or otherformats.

The card processing system 10 and IMS 100 are operable to receive a datafile, process the data file and generate an output. The output may beupdating a card account, creating a new card account, storing data in adatabase, generating a report, generating an updated data file, etc. Thenumber of systems and applications that receive and process datagenerated from the file may vary depending on the type of file andservice provided. As such, it is difficult to track the status of a datafile and its stage of processing by applications in the IMS 100 and cardprocessing system 10.

FIG. 3 illustrates an embodiment of a data file monitoring system 200.The data file monitoring system 200 is coupled to the IMS 100 and thecard processing system 10. The data file monitoring system 200 may be aseparate system or may be incorporated into the IMS 100. In anembodiment, data file monitoring system 200 tracks progress of datafiles through various processing stages in the IMS 100 and cardprocessing system 10. When a data file is received, the data filemonitoring system 200 receives a file tracking number associated withthe data file and determines from the tracking number whether the datafile is expected from an authorized user. The file monitoring system 200then determines an expected number of files from an authorized user andnumber of received files from the authorized user. The file monitoringsystem 200 generates reports that may be accessed via a web portal orthat can be transmitted to an authorized user. The reports notify theauthorized users when expected files have not been received within apredetermined time period. Once the data file is received from anauthorized user, the file monitoring system 200 receives status updateson processing of data generated from the file at predetermined stages ofprocessing from applications and systems in the IMS 100 and cardprocessing system 10 or other systems and networks. The file monitoringsystem also receives a status update at completion of processing andwhen a file is delivered to an authorized user. The file tracking numberis thus used to determine the location of the data file in the IMS 100and card processing system 10 and other coupled systems. Based on thefile location, the particular status of the file may be determined. Inaddition, the status updates may include additional status information.The data file monitoring system 200 is thus able to track the progressof the data file and data generated from the data file and any resultingoutput through receipt, processing and completion.

FIG. 4 and illustrates an embodiment of a method 300 for tracking theprogress of a data file by data file monitoring system 200. A data fileis provided a file tracking number in step 302. In an embodiment, apredetermined format for the tracking number is established between thefile monitoring system 200 and an authorized user. The predeterminedformat includes a first series of characters, either numbers, letters,or symbols, that identify the authorized user. The file tracking numberalso includes a second series of characters that identify a type offile. In an embodiment, the file tracking number includes a third seriesof characters that are unique to the file. The unique number may berandomly generated, sequentially generated, or derived from the file. Inanother embodiment, the file monitoring system 200 assigns a trackingnumber to the file upon receipt from an authorized user and notifies theauthorized user of the tracking number.

When the file is received, either by IM system 100 or card processingsystem 10, a status update is generated and transmitted to the filemonitoring system 200 in step 304. The status update includes the filetracking number for the file. In an embodiment, the system receiving thefile generates a time stamp with a date and time of receipt of the file.The status update also includes a timestamp with the data and time ofreceipt of the file.

The file monitoring system 200 receives the status update with the filetracking number and timestamp. It accesses a database with a listing ofauthorized users and corresponding type of files expected from theauthorized users in step 306. The database also includes a time frame inwhich each type of file is expected. For example, a new account file maybe expected daily from an issuing bank system or a merchant informationupdate file expected weekly from an acquirer system. The file monitoringsystem 200 determines from the file tracking number and timestamp forthe file whether it is a type of file expected from the authorized userwithin a predetermined time frame in step 308. The file monitoringsystem 200 generates a files expected and received report listing theexpected types of files within a predetermined time frame and thereceived reports within the predetermined time frame. The files expectedand received report thus allows the file monitoring system 200 and anauthorized user to determine whether a type of file has been received.In addition, the report will list any unexpected types of files receivedfrom an authorized user.

The data from the file is processed in step 312. Depending on the typeof file, there are different processing stages and number of stages. Inaddition, each processing stage may be performed by one or moreapplications and systems. The file monitoring system 200 receives astatus updates for processing stage 1 from the application/systemprocessing the file in step 314. In step 316, data generated from thefile is processed by another processing stage. The file monitoringsystem 200 receives one or more status updates for this next stage ofprocessing in step 318. The status updates identify the stage ofprocessing and status information. The status information includesapplication/system processing the file, receipt of data for processing,processing in progress, completion of processing and errors generated inprocessing. The data is processed in n processing stage in step 320, andthe file monitoring system 200 receives a status updates in step 322.

The file monitoring system 200 generates reports showing the progress ofthe data processing in step 324. The reports show the status atpredetermined stages of processing. The reports may be updatedperiodically or updated at receipt of each status update. In step 326,the processing is completed and any required output transmitted to theauthorized user. The output may be an updated file, creation ofaccounts, storing updated information, etc. In step 328, the filemonitoring system 200 tracks the transmission of data files to anauthorized user and creates a report of transmitted data files.

FIG. 5 illustrates an embodiment of a system for tracking the progressof file processing by the file monitoring system 200. In an embodiment,a data file 400 with a file tracking number is received by IM I/Ointerface 102. The IM I/O interface 102 transmits a status update 402 tothe file monitoring system 200. The status update includes a filetracking number and timestamp with date and time of receipt of a file.The IM I/O interface 102 transmits data from the file or the file to afirst application 404 at IM Processing Device 104. The first application404 transmits one or more status updates 406 to file monitoring system200. The data generated by the first application 404 is transmitted to asecond application 408 at IM Processing Device 104. The secondapplication 408 transmits one or more status updates 410 to filemonitoring system 200. The data generated from the second application408 is then transmitted to another system card processing device 12.Card processing device 12 transmits one or more status updates 412 tofile monitoring system 200. The card processing device 12 transmits datato storage system 14 to update or create a data entry in one or morefiles. The storage system 14 transmits one or more status updates 414 tofile monitoring system 200.

In one embodiment of the invention, the file monitoring system 200provides a graphical user interface (GUI) to view status reports 416 ofthe processing of the data files. The GUI may be provided by a webserver in the IM I/O interface 102 or other server, as a web basedapplication to authorized users. In another embodiment, the filemonitoring system 200 may provide status reports 416 in various fileformats, such as excel, ASCII, Adobe Acrobat pdf, etc., to the IM I/Ointerface 102. The IM I/O interface 102 then transmits the statusreports to an authorized user.

Though a card processing system 12 and information management system 100have been described herein, the file monitoring system 200 may interfacewith other data processing systems to track the status of dataprocessing. Alternative or additional stages of processing may bedefined to track the status of processing in other data processingsystems.

FIG. 6 illustrates a schematic block diagram of an embodiment of thefile monitoring system 200. The file monitoring system 200 includes FMinput/output (I/O) system 440, FM processing device 450 and FM storagesystem 460. The FM I/O system 440 provides access to the informationmanagement system 100 and card processing system 10. In an embodiment,the FM I/O system 440 also provides access to customer system 60,acquirer system 48, merchant system 40-46 and other external systemsthrough network 52 or through proprietary network 16. In thisembodiment, the customer system 60, acquirer system 48 and merchantsystem 40-46 are able to access status reports from the file monitoringsystem 200 through the FM I/O system 440, rather than the IM I/O system102, using FTP or other secure file transfer protocol. In an embodiment,the IM I/O interface 102 or FM I/O system 440 include a web server thatprovides a web portal for displaying status reports in one or moregraphical user interfaces (GUIs) to authorized users. The authorizedusers include operators of the IMS 100 and card processing system 10 tomonitor operations. The authorized users also include third partysystems, including operators of acquirer system 48, issuer systems32-36, customer systems 60 and third party processing service system 62.The file monitoring system 200 limits access of third party authorizedusers to only data and reports for files from such third partyauthorized users.

The FM storage system 460 stores status update information and statusreport data. The FM storage system 460 may be a separate storage systemor be included within storage system 14 or IM storage system 106.

The FM Processing Device 450 includes one or more servers, computers orprocessing modules. In an embodiment, the processing module includes acentral processing unit; a memory that includes system memory, cachememory, and read only memory; an I/O module that includes a graphicaluser interface and/or a peripheral device interface (e.g., to connect toa mouse, a keyboard, etc.) and a video card, printer card, etc. Ingeneral, the processing module may be a single processing device or aplurality of processing devices. Such a processing device may be amicroprocessor, micro-controller, digital signal processor,microcomputer, central processing unit, field programmable gate array,programmable logic device, state machine, logic circuitry, analogcircuitry, digital circuitry, and/or any device that manipulates signals(analog and/or digital) based on hard coding of the circuitry and/oroperational instructions. The processing module may have internal memoryand/or is coupled to memory. Memory and internal memory may each be asingle memory device or a plurality of memory devices. Such a memorydevice may be a read-only memory, random access memory, volatile memory,non-volatile memory, static memory, dynamic memory, flash memory, cachememory, and/or any device that stores digital information. Note thatwhen the processing module implements one or more of its functions via astate machine, analog circuitry, digital circuitry, and/or logiccircuitry, the memory storing the corresponding operational instructionsmay be embedded within, or external to, the circuitry comprising thestate machine, analog circuitry, digital circuitry, and/or logiccircuitry. Further note that, the internal memory and/or memory stores,and the processing module is operable to execute, hard coded and/oroperational instructions corresponding to steps and/or functionsdescribed herein.

In an embodiment, the file monitoring system 200 provides a filesexpected and received status report. This status report provides adescription of files expected and actual files received. The report mayinclude files received by one or more systems and applications in one ormore regions. In an embodiment, the report summarizes and displays filesexpected and received at a regional level and for each defined frequencyor predetermined time frame for receiving the file.

FIGS. 7 a-c are schematic block diagrams of an embodiment of a graphicaluser interface (GUI) 500 of a files expected and received status report504 on a display 502. The display 502 is associated with any type ofelectronic device including a personal computer, a laptop, a wirelessphone, a personal digital assistant or other device operable tocommunicate with file monitoring system 200. The GUI 500 of the filesexpected and received status report 504 includes various levels ofdimension. In an embodiment, the levels of dimension include: FileFrequency (Daily, Weekly, Monthly, etc.), Time (Month, Week, Day, etc.),Region, Processing application, Authorized User, Outbound FileDefinition, and Customer. From each dimension, a next level of dimensioncan be selected for viewing.

FIG. 7 a illustrates a file frequency 506 dimension level to the filesexpected and received status report 504. When a file frequency 506 isselected, a regional view 508 displays a number of files expected 510and number of files received 512 for each region. Though a bar graph isillustrated in FIG. 7 b, other types of graphs or data formatting may beimplemented with different or additional information.

When a region is selected in the regional view 508, information forauthorized users in the selected region is displayed, as illustrated inFIG. 7 c. In an embodiment, the following information is displayed: FileExpected Date 522, Number of Files Expected 524 (e.g., up to the time ofcreating report), Number of Files Received 526 (e.g., actual up to thetime of creating report), Number of files received late 528.

When an authorized user is selected, the graphical user interface 500displays individual file definitions expected from the selectedauthorized user. At the File definition level, one or more of thefollowing fields are displayed for each file of the authorized user:

-   -   File definition name    -   Format Mask    -   Expected timestamp (display in YYYY-MM-DD HH:MM;SS)    -   Expected to receive “empty” file if no data (Yes/No)    -   Actual timestamp (when the file is received)    -   Actual file name (when the file is received)    -   Current Processing Status (list of status values as used by the        application)    -   Minimum Posting Date Received in file (e.g., for financial        files)    -   Maximum Posting Date Received in file (e.g., financial files        only)    -   Minimum transaction date received in file (e.g., for invoice        files)    -   Maximum transaction date received in file (e.g., invoice files        only)    -   Number of financial transactions/total records    -   Commercial sales volume CSV        The fields may be displayed in a spreadsheet format or other        type of format. Other or additional fields, dimension levels or        order of dimension levels may be implemented by the file        monitoring system 200 for the files expected and received status        report 504.

In an embodiment, the file monitoring system 200 displays a statusindicator, such as Red, Green and Yellow, to display an overall filestatus for a region and authorized user. For example, a green statusindicates an expected file count and a received file count are equal. Ared status indicates that an expected file count is greater than thereceived file count and at least one of the files has not been receivedeven after a tolerance limit. The tolerance limit is different fordifferent types of files (e.g., for daily files tolerance is 0 hours,for weekly files tolerance is 1 business day and for monthly filestolerance is 5 business days). Tolerance limits are a configurableparameter. Yellow status indicates that an expected file count is lessthan a received file count or that an expected count is greater than thereceived count, but all the files are within tolerance limit. Additionalor other types of status indicators may be implemented. When a file isnot received on the expected date, but has since been received,statistics for the expected date are updated to “Number of filesactually received” count to account for this file and status is updatedaccordingly (e.g., when a status is red, the file monitoring system 200will change the status to green when there are no other problems).Though color indicators are described, other type of status indicators,such as icons, may be implemented in lieu of or in addition to the colorindicators.

In an embodiment, a summary notification is generated periodically, forexample, at the end of the day or at the end of the week. The summarynotification includes a status of files expected to be received for thattime period and files still in error from previous time periods. Thesummary notification is displayed as part of the files expected andreceived status report 504 in a graphical user interface of a web portalor transmitted to an authorized user system as an email or text message.

In an embodiment, the file monitoring system 200 generates a filesdelivered status report. The files delivered status report displays atotal number of outbound files expected to be delivered and actual filesdelivered. The actual files delivered include files delivered fromvarious regions and from different processing applications. The filesdelivered include one or more: files delivered to external third partysystems, file transfer delivery, flow through delivery, and filesdelivered to other internal applications, such as IMS applications 100or card processing system 10 applications. For example, in anembodiment, files delivered include file transfers to applications forreporting 1099information or socio economic applications.

The total files expected and delivered are summarized and displayed at aregional level and for each defined file frequency. In an embodiment,the levels of dimension include: File Frequency (Daily, Weekly,Monthly), Time (Month, Week, Day), Region, Processing application,Authorized User (such as member bank), Outbound File Definition, andCustomer (e.g., corporate customer name). From each dimension, a nextlevel of dimension listed above can be selected. Alternative andadditional views and dimensions may be implemented as well.

FIG. 8 illustrates a regional view of a file delivered status report550. When a region of the regional summary level GUI is selected, theGUI 500 displays an expected and delivered file status for eachauthorized user within that region. The following information is shown:Expected File Delivery Date 552, Number of Files Expected to beDelivered 554 and actual Number of Files Delivered 556. Though a bargraph is illustrated in FIG. 8, other types of graphs or data formattingmay be implemented with different or additional information.

When an authorized user is selected, the graphical user interface 500displays a file definition level. At the file definition level, one ormore of the following fields are displayed for each file:

-   -   File definition name    -   Format Mask    -   Expected timestamp (display in YYYY-MM-DD HH:MM;SS)    -   Expected to deliver “empty” file if no data (Yes/No)    -   Actual timestamp (when the file is delivered)    -   Actual file name (when the file is delivered)    -   Current Processing Status (list of status values as used by the        application)    -   Number of records in file        The fields may be displayed in a spreadsheet format or other        type of format. Alternative and additional fields, dimension        levels or order of dimension levels may be implemented by the        file monitoring system 200 for the file delivered status report        550.

In an embodiment, the file monitoring system 200 displays a statusindicator, such as Red, Green and Yellow, to display an overall filestatus for a region and authorized user. For example, a green statusindicates that the expected and the delivered counts are equal. A redstatus indicates that the expected count is greater than the deliveredcounts and at least one of the files has not been delivered even aftertolerance limit. This tolerance limit is different for different typesof files (e.g., for daily files tolerance is 2 hours, for weekly filestolerance is 1 business day and for monthly files tolerance is 5business days). Tolerance limits are a configurable parameter. A yellowstatus indicates that the expected file count is less than the deliveredfile counts or that the expected file count is greater than thedelivered count, but all the files are within tolerance limit.

In an embodiment, the file monitoring system 200 generates an end to endstatus view report. This report displays the end to end status for filesreceived, e.g. by the card processing system 10 and IMS 100. In anembodiment, the end to end status report includes one or more dimensionlevels including: File Frequency (Daily, Weekly, Monthly), Time (Month,Week, Day), Region, Application/Processor, Authorized User, FileDefinition, Customer. From each dimension, a next level of dimensionlisted above can be selected. Alternative and additional views anddimensions may be implemented as well.

A file frequency (Daily, Weekly, Monthly) is selected, and then aregional summary view displays one or more regions and number of filesbeing processed for the regions for a selected time (Month, Week, Day).When a region is selected in the regional summary view, the applicationdisplays a number of files being processed for each authorized userwithin the selected region. In another embodiment, when a region isselected in the regional summary view, depending on the processingplatform, the application displays processing application and thenauthorized users for each processing application. In addition, when afile contains data for more than one authorized user, the applicationwill display processing application when a region is selected. Filedefinition information is displayed for each authorized user or byprocessing application for each authorized user.

The processing stages of a file are different based on the applicationand system processing the file. As such, both the predeterminedprocessing stages for the file and current status of the file aredisplayed. A tabular or graphical view may be used to display theprocessing stages. FIG. 9 a illustrates an embodiment of an end to endstatus report 600 for a selected file. FIG. 9 a illustratespredetermined stages of processing for the selected file. In anembodiment, the current stage of processing for the selected file ishighlighted, e.g. in the example of FIG. 9 a, stage 2 data uploading 608is indicated as the current stage of processing for the data file. In anembodiment, a processing stage is also highlighted when there are anyerrors or warnings during the processing. The names of the processingstages in FIG. 9 are for illustration and different number and type ofprocessing stages are possible. In an embodiment, when a stage isselected, progress of the file in the processing stage can be furtherdisplayed. For example, FIG. 9 b illustrates status of file processingin Stage 2 Data uploading 608. The start and end processing time foreach processing stage can also be displayed when available. As the filemonitoring system 200 receives status updates from the card processingsystem 10 and IMS 100, it updates the file status in the end to endstatus report. In another embodiment, the file monitoring systemperiodically updates the file status in response to received statusupdates. Though a block diagram of the processing stages is illustratedin FIGS. 9 a and 9 b, other types of graphs or data formatting may beimplemented with different or additional information.

In an embodiment, file monitoring system 200 generates and provides areport on a Volume of Files Received. This report displays a totalnumber of files received and processed through the IMS 100 or cardprocessing system 10. In an embodiment, the Volume of Files Receivedreport includes one or more dimension levels including: Time Frame(Month, Quarter, Year, etc.), Region, Authorized User, and File Format.From each dimension, a next level of dimension listed above can beselected. Alternative and additional views and dimensions may beimplemented as well.

FIGS. 10 a and 10 b illustrate an embodiment of the Volume of FilesReceived Report 650. When a Time Frame is selected (Month, Quarter,Year), the report 650 in FIG. 10 a displays a metric for the number offiles 652 received by each region. When a region is selected, the reportdisplays an Authorized User Regional View 654 in FIG. 10 b. TheAuthorized User Regional View 654 includes an average number of files656 for authorized users for one or more file formats. Additional chartscan be selected to illustrate different metrics, including: Total FileCount, Average File Count, Maximum File Count, Cumulative Growth %.Though a bar graph is illustrated in FIGS. 10 a and 10 b, other types ofgraphs or data formatting may be implemented with different oradditional information.

In an embodiment, file monitoring system 200 generates and provides areport on Volume of Files Delivered. This report displays a total numberof files received and processed through the IMS 100 or card processingsystem 10. In an embodiment, the Volume of Files Delivered reportincludes one or more dimension levels including: Time Frame (Month,Quarter, Year, etc.), Region, Authorized User and File Format. From eachdimension, a next level of dimension listed above can be selected.Alternative and additional views and dimensions may be implemented aswell.

When a Time Frame is selected (Month, Quarter, Year), the reportdisplays a metric for the number of files delivered by each region. Whena region is selected, the report displays a metric for the number offiles delivered for each region. When a region is selected, the reportdisplays a transaction volume by Authorized User and then by fileformat. Additional charts can be selected to illustrate one or moremetrics, including one or more of: Total File Count, Average File Count,Maximum File Count, Cumulative Growth %. The display may be selected todisplay a desired metric from any of the above listed dimensions. Forexample, a file format may include invoices and the report will displaya volume of invoices by invoice provider, region and then time. Othertypes of graphs or graphical user interfaces may be implemented as well.

In an embodiment, the monitoring system 200 generates and provides areport of file through put processing time. The through put processingtime includes time from receipt of a data file to data endpoint. Thethrough put processing is measured based on different end points fordata being processed. For example the end point for a first type of datareceived might be a file delivery while the endpoint for a second typeof data received is a data load into a reporting application. Theprocessing through put includes an average processing time for one ormore of the following processing stages:

-   -   Input file loading and validation time (Absolute and average        time per 1000 records or a similar unit)    -   Matching and other enrichment process time (Absolute and average        time per 1000 records or a similar unit)    -   File Extract time for delivery (Absolute and average time per        1000 records or a similar unit)    -   Data loading time into IS/IS Select/1099 or Socio economic        (depending on where the data is sent for reporting service)        (Absolute and average time per 1000 records or a similar unit)

In an embodiment, the file through put processing report includes one ormore dimension levels including: Time Frame (Month, Quarter, Year,etc.), Region, Authorized User and File Format. From each dimension, anext level of dimension listed above can be selected. In an embodiment,file types may be selected as a basis for generating the report. Forexample, a selection of file types may include all files, financialfiles, invoice files, account files, organization files, hierarchy filesand other files. Alternative and additional views and dimensions may beimplemented as well.

When a file type and time frame are selected, a regional summary viewwill display one or more regions and a processing throughput time forthe selected file type during the time frame. Additional charts can beselected to illustrate one or more other metrics, such as AverageProcessing Throughput time, Maximum Processing Throughput time, andTotal Processing Throughput time. The desired metric may be selected anddisplayed on the File Processing Throughput report at any of the variousdimension levels or views.

FIG. 11 illustrates an embodiment of a File Processing Throughput report680. In the example of FIG. 11, a regional summary view displays one ormore regions and an average processing throughput time 684 for aselected file type 688 and time frame 686. When a region is selected, anaverage processing throughput for a data file is displayed. Other levelsor order of drill down levels may be provided as well. In an embodiment,the File Processing Throughput report 680 for a selected data fileincludes one or more of the following fields in Table 1.

TABLE 1 Fields for a File Processing Throughput Report 680 Field Reportfield name Notes 1 Region 2 Processor name Processor defined for themember bank. 3 Member Bank Name If the file is being received fromprocessor, then include data for all the individual member banks in thereport as individual rows. If the file is being processed as one unit,then leave this field blank. 4 File Format Unique identifier for thefile 5 Actual File Name Name of the actually received file 6 Date Dateof data. If the month is not complete as of last complete GMT day, thendata should be captured till that day. 7 Flow Type Data from aparticular inbound file/end-point might be split and go to multipledestinations depending upon subscription. This report should begenerated on 2 broad categories of data delivery/or loading. Flow Typecan only have 2 values: Data Delivery: to display statistics for datagoing to an external end-point for a particular inbound file. ReportingServices: to display statistics for data going to any (or multiple) VIMreporting applications for this particular inbound file. 8 Outbound Nameof the outbound destination Destination 9 Outbound File Name of theactual outbound file 10 Received Time Time when the inbound file wasfirst received by IMS 100 or card processing system 10 11 Completed TimeData Delivery: Time when the outbound file was sent from data from thisparticular inbound file. Reporting Services: Time when the last data isloaded into VIM reporting applications for this particular inbound file.12 Processing Time Difference between “Completed Time” and “ReceivedTime” in hr./minutes. The start and end processing time for eachprocessing stage may be displayed. 13 Number of records Total number ofrecords processed for either 1) outbound files Processed in the case of“Data Delivery” or 2) loaded into reporting application in the case of“Reporting Services”. 14 Average Processing Moving average of theprocessing time calculated for last 30 time (last 30 days) days.The fields in Table 1 may be displayed in one more separate graphs,charts, documents, tables or other graphical user interfaces in the FileProcessing Throughput Report 680.

In an embodiment, the file monitoring system 200 generates and providesa report of through put processing time with aggregation data. Theaggregation is performed on data flow type, region, processor, fileend-point and time frame (weekly, monthly, yearly). The processing timeincludes a sum of processing time values for an authorized user, dataflow type and inbound file aggregated for selected time period up tocurrent date. An average processing time is calculated for last selectedtime period, e.g. 30 days for monthly selected time period, onaggregated values.

In an embodiment, the file monitoring system 200 generates and providesa report on File Processing Warning and Error Statistics. This reportdisplays a total number of processing warning and error counts from theprocessing stages. In an embodiment, the File Processing Warning/ErrorStatistics report includes one or more dimension levels including: Time(Month, Week, Day), Region, Authorized User, File Definition or type,Type of Error or Warning and Warning or Error Description. FIG. 12 aillustrates a regional summary view of the File Processing Warning andError Statistics report 700. It includes one or more regions and a totalwarning/error count 706 for a selected time frame 702 and file type 704.It may also include the count of errors 708 and count of warnings 710 inthe total error/warnings count 706 for each region. FIG. 12 billustrates a view for a selected region of the File Processing Warningand Error Statistics report 700. The report includes a total count ofwarnings 720, maximum warnings for a processing stage 722, minimumwarnings for a processing stage 724, average warnings for the processingstages 726. The report similarly shows for errors, a total count oferrors 728, maximum errors for a processing stage 730, minimum warningsfor a processing stage 732, average warnings for the processing stages734. Alternative and additional metrics and parameters may also bedisplayed.

At a detail level, the File Processing Warning and Error Statisticsreport 700 displays a Warning/Error description, date and time of theoccurrence of the warning/error, region, authorized user, type of error,whether the record was rejected by the system and other availableinformation. The file monitoring system 200 may determine thewarning/error count information from status updates and from any warningand error logs managed by IMS 100 and card processing system 10. Bydisplaying the errors and warnings by type, file definition, region, andother parameters, patterns of warnings or errors can more easily beidentified.

As described herein, the file monitoring system 200 provides a graphicaluser interface (GUI) to view status reports 416 of processing of datafiles. Various applications and systems transmit status updates at oneor more stages of processing to the file monitoring system 200. The filemonitoring system 200 monitors the status updates and generates reportsdisplaying the status of the data files. Reports include end to endstatus, files received and files delivered.

As may be used herein, the term “operable to” indicates that an itemincludes one or more of processing modules, data, input(s), output(s),etc., to perform one or more of the described or necessary correspondingfunctions and may further include inferred coupling to one or more otheritems to perform the described or necessary corresponding functions. Asmay still further be used herein, the term “associated with”, includesdirect and/or indirect association of separate data and/or one databeing embedded within another item.

The present invention has also been described above with the aid ofmethod steps illustrating the performance of specified functions andrelationships thereof. The boundaries and sequence of these functionalbuilding blocks and method steps have been arbitrarily defined hereinfor convenience of description. Alternate boundaries and sequences canbe defined so long as the specified functions and relationships areappropriately performed. Any such alternate boundaries or sequences arethus within the scope and spirit of the claimed invention.

The present invention has been described above with the aid offunctional building blocks illustrating the performance of certainsignificant functions. The boundaries of these functional buildingblocks have been arbitrarily defined for convenience of description.Alternate boundaries could be defined as long as the certain significantfunctions are appropriately performed. Similarly, flow diagram blocksmay also have been arbitrarily defined herein to illustrate certainsignificant functionality. To the extent used, the flow diagram blockboundaries and sequence could have been defined otherwise and stillperform the certain significant functionality. Such alternatedefinitions of both functional building blocks and flow diagram blocksand sequences are thus within the scope and spirit of the claimedinvention. One of average skill in the art will also recognize that thefunctional building blocks, and other illustrative blocks, modules andcomponents herein, can be implemented as illustrated or by one ormultiple discrete components, networks, systems, databases or processingmodules executing appropriate software and the like or any combinationthereof.

What is claimed is:
 1. A method, comprising: receiving a first statusupdate with an associated tracking number for a data file, wherein thefirst status update includes a time of receipt of the data file by adata processing system, wherein a plurality of predetermined processingstages in the data processing system corresponds to processing of datafrom the data file, and wherein the predetermined processing stagesinclude a stage for processing of the data file by a transactionprocessing entity; identifying a type of data file based on the trackingnumber, wherein a number of the predetermined processing stages variesdepending on the type of data file; determining whether the data file isan expected data file based on the tracking number and the time ofreceipt for the data file, and further based on a list of expected datafiles and a predetermined time frame for receiving the expected datafiles; receiving one or more additional status updates from thepredetermined processing stages; and generating a status report with astatus of the data file for the predetermined processing stages based onthe one or more additional status updates.
 2. The method of claim 1,wherein the list of expected data files corresponds to an authorizeduser, the method further comprising: accessing a database comprising thelist of expected data files; and generating a files expected andreceived report with expected data files and received data files for theauthorized user.
 3. The method of claim 2, further comprising: receivinganother status update when a file is delivered to the authorized user;accessing a database with a list of expected data files to be deliveredto the authorized user; and creating a files delivered report withexpected data files to be delivered and data files delivered for theauthorized user.
 4. The method of claim 3, further comprising:determining a volume of data files received by the data processingsystem in response to the first status update; and generating a volumeof files received report with the volume of data files received andprocessed by the data processing system, wherein the volume of filesreceived report includes a number of files processed by region and filetype.
 5. The method of claim 4, further comprising: determining a fileprocessing throughput in response to the one or more additional statusupdates; and generating a file processing throughput report.
 6. Themethod of claim 5, wherein the file processing throughput is determinedfrom a start processing time and end processing time included in the oneor more additional status updates.
 7. The method of claim 6, furthercomprising: determining a number of processing warnings and errors inresponse to the one or more additional status updates; and generating afile warning and error report, wherein the file warning and error reportincludes a number of errors and warnings by file type and processingstage.
 8. The method of claim 1, wherein the data file includes new cardaccount information, and wherein an output from completion of processingin the predetermined processing stages is creation of a new cardaccount.
 9. A system, comprising: an input/output (I/O) system operableto receive a plurality of status updates for one or more data files frompredetermined processing stages in a data processing system, wherein thepredetermined processing stages include a stage for processing of thedata files by a transaction processing entity, wherein each of theplurality of status updates includes a tracking number to identify adata file and a processing status of the data file in one of thepredetermined processing stages, and wherein each of the plurality ofstatus updates further includes a receipt time for the data file; adatabase operable to store a list of expected data files and apredetermined time frame for receiving the expected data files from anauthorized user, and further operable to store status information fromthe plurality of status updates; and a processing device operable to:generate a status report with the respective processing status of theone or more data files; determine whether the one or more data files areexpected data files from the authorized user for the predetermined timeframe based on the list of expected data files in the database, andfurther based on the respective tracking number and the respectivereceipt time for each of the one or more data files,and identify a typeof data file based on the tracking number of the data file, wherein anumber of the predetermined processing stages varies depending on thetype of data file.
 10. The system of claim 9, wherein the processingdevice is further operable to generate a files expected and receivedreport.
 11. The system of claim 10, wherein the processing device isfurther operable to: determine a file processing throughput in responseto the plurality of status updates, wherein the file processingthroughput is determined from a start processing time and end processingtime included in one or more of the plurality of status updates; . andgenerate a file processing throughput report.
 12. The system of claim11, wherein the processing device is further operable to: determine anumber of processing warnings and errors in response to the plurality ofstatus updates; and generate a file warning and error report, whereinthe file warning and error report includes a number of errors andwarnings by file type and by one or more of the predetermined processingstages.
 13. A system, comprising: one or more processing devicesconfigured to implement at least one of a plurality of data processingstages for processing data files, wherein each of the data processingstages is to generate at least one status update for a data file with atracking number and a status of the data file in the data processingstage, and wherein the data processing stages include a stage forprocessing of the data files by a transaction processing entity; adatabase that includes a list of expected data files and a predeterminedtime frame for receiving the expected data files from an authorizeduser; and a file monitoring system, comprising at least one processingdevice, operable to: receive the at least one status update from each ofthe data processing stages and to generate a status report; determinewhether the data file is an expected data file from the authorized userfor the predetermined time frame based on the tracking number and a timeof receipt for the data file, and further based on the list of expecteddata files in the database; and identify a type of data file based onthe tracking number of the data file, wherein a number of the dataprocessing stages corresponds to the type of data file.
 14. The systemof claim 13, wherein the file monitoring system is further operable togenerate a files expected and received report.